Internal Sales Compliance & Audit Analyst (RPA/AI)

Elitez Pte Ltd; Santo Niño 1st; On-site; PHP 600,000 - 900,000; Full time

Job summary

Elitez Pte Ltd is seeking a Sales Compliance professional to monitor MAS Balanced Scorecard checks for sales representatives and align with bank policies. The role includes automating audit workflows using RPA and AI, and keeping checks up-to-date with regulatory developments.

You will also conduct training for new hires, guide supervisors on BSC checks and complaint investigations, and perform independent reviews of complaints related to investment sales.

Qualifications

• Degree with minimum of 2-3 years of sales compliance experience in the banking sector.
• Good level of knowledge of the regulations governing the sale of investment products to retail customers (egs. Financial Advisory Act, MAS Guidelines on Fair Dealing).

Responsibilities

• Perform checks and fulfil all relevant requirements under the MAS Balanced Scorecard Framework for sales representatives and the Bank’s policies and procedures.
• Monitor the BSC results, identify root causes of significant lapses and common errors, and conduct remediation.
• Conduct training on BSC Framework for new hires, and guide new supervisors on BSC checks and complaint investigation.
• Provide independent review of customer complaints relating to investment sales.
• Keep checks current with developments in the regulatory environment and the internal processes and systems.
• Automate independent sales audit workflow by leveraging on RPA, system automation and AI.

Job description

Elitez Pte Ltd is seeking a Sales Compliance professional to monitor MAS Balanced Scorecard checks for sales representatives and align with bank policies. The role includes automating audit workflows using RPA and AI, and keeping checks up-to-date with regulatory developments.

You will also conduct training for new hires, guide supervisors on BSC checks and complaint investigations, and perform independent reviews of complaints related to investment sales.